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Alan Zafran

Managing Partner at IEQ Capital

Investment adviser registrationFoster City, CASEC record checked 17 October 2026

35
Years in the industry
7
Years at the firm
4
Adviser firms
20
State registrations

IAPD record retrieved 17 October 2026SEC record

Alan Zafran is Managing Partner of IEQ Capital, LLC, a Foster City investment adviser managing $56.8B. Alan Zafran has been registered through IEQ Capital since 7 June 2019, has 35 years in the industry across 4 firms and has passed 10 licensing exams.

Role at IEQ Capital

Title on Schedule A
Managing Partner
Control
Alan Zafran is a control person of IEQ Capital.
Ownership
An individual ownership band is not available in the source record.
Tenure
Alan Zafran has held the filed role since June 2019.

The firm

IEQ Capital, LLC
Foster City, CA

Form ADV filed 9 June 2026

$56.8B AUM2,309 clients193 advisers11 offices

Career on record

Alan Zafran has been registered through IEQ Capital since June 2019, and before that through First Republic Investment Management, Inc., Luminous Capital, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated.

Firms and exams, newest first
  1. Ieq Capital, LLCCurrent
    – present · 7 years
    Foster City, CA · Adviser representative · Firm CRD 301819
  2. Passed SIE · 2018
  3. Passed Series 30 · 2016
  4. Passed Series 22 and Series 63 · 2013
  5. First Republic Investment Management, Inc.
    – · 6 years
    Palo Alto, CA · Adviser representative · Firm CRD 108559
  6. Passed Series 3 · 2012
  7. Luminous Capital, LLC
    – · 5 years
    Portola Valley, CA · Adviser representative · Firm CRD 145566
  8. Passed Series 10 and Series 9 · 2003
  9. Passed Series 31 · 1999
  10. Passed Series 65 · 1997
  11. Merrill Lynch, Pierce, Fenner & Smith Incorporated
    – · 11 years
    Menlo Park, CA · Adviser representative · Firm CRD 7691
  12. Passed Series 7 · 1990

Registrations and exams

Alan Zafran has a current investment-adviser registration in Arizona, California, Colorado, Connecticut, Florida, Illinois, Kansas, Louisiana, Maryland, Massachusetts, Minnesota, Nevada, New Hampshire, New York, North Carolina, Oregon, Pennsylvania, Texas, Utah and Washington and has passed 10 qualifying exams.

Arizona20 March 2026
Scope
Investment adviser representative
Status
Approved
California7 June 2019
Scope
Investment adviser representative
Status
Approved
Colorado9 April 2020
Scope
Investment adviser representative
Status
Approved
Connecticut25 March 2020
Scope
Investment adviser representative
Status
Approved
Florida24 April 2025
Scope
Investment adviser representative
Status
Approved
Illinois11 February 2026
Scope
Investment adviser representative
Status
Approved
Kansas13 April 2023
Scope
Investment adviser representative
Status
Approved
Louisiana25 March 2020
Scope
Investment adviser representative
Status
Approved
Maryland25 March 2020
Scope
Investment adviser representative
Status
Approved
Massachusetts18 July 2023
Scope
Investment adviser representative
Status
Approved
Minnesota26 March 2020
Scope
Investment adviser representative
Status
Approved
Nevada28 January 2026
Scope
Investment adviser representative
Status
Approved
New Hampshire26 March 2020
Scope
Investment adviser representative
Status
Approved
New York14 April 2023
Scope
Investment adviser representative
Status
Approved
North Carolina26 March 2020
Scope
Investment adviser representative
Status
Approved
Oregon7 February 2025
Scope
Investment adviser representative
Status
Approved
Pennsylvania7 February 2025
Scope
Investment adviser representative
Status
Approved
Texas26 March 2020
Scope
Investment adviser representative
Status
Approved, resident
Utah25 March 2020
Scope
Investment adviser representative
Status
Approved
Washington25 March 2020
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6328 January 2013
Name
Uniform Securities Agent State Law Examination
Series 6512 May 1997
Name
Uniform Investment Adviser Law Examination
Series 3019 December 2016
Name
NFA Branch Manager Examination
Series 106 June 2003
Name
General Securities Sales Supervisor - General Module Examination
Series 96 June 2003
Name
General Securities Sales Supervisor - Options Module Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 2217 January 2013
Name
Direct Participation Programs Representative Examination
Series 320 November 2012
Name
National Commodity Futures Examination
Series 3117 September 1999
Name
Futures Managed Funds Examination
Series 723 October 1990
Name
General Securities Representative Examination

Individual record

Full name
Alan Zafran
CRD
2098205
Firm
IEQ Capital, LLC
Registration status
Investment adviser registration
Office
950 TOWER LANE, SUITE 1800, Foster City, CA 94404
Firm bio
ieqcapital.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

IEQ Capital identifies Alan Zafran as a Co-Founder and Managing Partner and says he sits on the firm’s Investment Committee. Official firm biography

Education

Common questions

Where does Alan Zafran work?

Alan Zafran has been Managing Partner of IEQ Capital, LLC since June 2019, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 9 June 2026

Is Alan Zafran a financial advisor?

Yes. Alan Zafran has a current investment-adviser registration in Arizona, California, Colorado, Connecticut, Florida, Illinois, Kansas, Louisiana, Maryland, Massachusetts, Minnesota, Nevada, New Hampshire, New York, North Carolina, Oregon, Pennsylvania, Texas, Utah and Washington, through IEQ Capital since June 2019, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Alan Zafran have?

Alan Zafran has worked in the financial industry for 35 years as of 17 October 2026, counted from 26 October 1990, across 4 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Alan Zafran passed?

Alan Zafran has passed 10 licensing exams: the Series 7, Series 65, Series 31, Series 10, Series 9, Series 3, Series 22, Series 63, Series 30 and SIE. The earliest, the Series 7, was passed in October 1990.

Source: IAPD individual record, checked 17 October 2026

Where did Alan Zafran work before IEQ Capital?

Before IEQ Capital, Alan Zafran was registered through First Republic Investment Management, Inc., January 2013 to June 2019; Luminous Capital, LLC, May 2008 to February 2013; Merrill Lynch, Pierce, Fenner & Smith Incorporated, April 1997 to May 2008.

Source: IAPD individual record, checked 17 October 2026

Where is Alan Zafran based?

Alan Zafran’s registered office is in Foster City, CA.

Source: IAPD individual record, checked 17 October 2026

Leadership at IEQ Capital

Sources

  1. IAPD individual record, CRD 2098205. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of IEQ Capital, LLC, filed 9 June 2026. Title, control and ownership bands.
  3. IEQ Capital team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Alan Zafran or IEQ Capital, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.